Lead Securities Operations Specialist

About this role:

Wells Fargo is seeking a Lead Securities Operations Specialist as a part of the Advisory Account Setup and Maintenance Team within Wealth and Investment Management Operations. This team is responsible for supporting brokerage and wealth processing by assisting the business with process improvements, increasing operational efficiencies, and ensuring compliance through risk mitigation and other deliverables supporting the wealth setup space.

The Lead Specialist will support this team in meeting those technology deliverables and other key impact items. Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Lead complex lifecycle initiatives and support tasks, including those that are cross-functional with broad impact, and act as key a participant in large-scale planning and deliverables; identify opportunity for process improvements with high-risk advisory based products
• Review and analyze complex multi-faceted, larger scale or longer-term operational tasks or challenges that require an in-depth evaluation of multiple factors including intangibles or unprecedented factors
• Make decisions in complex and multi-faceted situations related to a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements that influence or lead team to meet deliverables and drive new initiatives
• Strategically collaborate and consult with peers, colleagues and mid-level to senior managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor
• Manage and develop expertise in the following operational processes including client account onboarding, funding operations, custodial operations and general ledger reconciliation
• Resolve complex escalated issues within the scope of responsibility in Security Operations
• Research complex business risks, develop policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Exercise independent judgment in supporting ongoing business activities and objectives and influence workflow controls to minimalize the effects of operational breakdowns
• Lead overall effectiveness of the team according to plans; monitor daily securities and cash related production work as needed
• Lead implementation of projects, new or revised processes, and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk
• Support other business unit activities as needed or required

Required Qualifications:

• 5+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 5+ years of Brokerage Operations experience with a strong understanding of security products
• 5+ years of Project and/or Change Management experience in an Agile or Waterfall environment
• 2+ years of process automation experience in a business transformation environment
• Ability to effectively collaborate across departmental boundaries to derive at optimal solutions for project initiatives
• Maintains a continuous process improvement mindset
• Strong rapport building and ability to work in a matrixed environment
• Highly effective communication skills and people leadership skills
• Ability to lead complex projects both technical and non-technical in nature
• Ability to take ownership over business processes and team and takes initiative to proactively address risk, enhance efficiencies and drive a meaningful client experience
• Successful completion of Process Management Certifications such as Lean Six Sigma, Agile or Design Thinking
• Successful completion and registration of FINRA Series 99 or FINRA equivalents

Job Expectations:

• Ability to work a hybrid schedule
• Willingness to work on-site at stated location on the job opening
• This position is not eligible for Visa sponsorship

Posting Location:

• Charlotte, North Carolina

Posting End Date:

24 Apr 2025
*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.